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Eccleston Law Blog

Federal Court Upholds FINRA's Authority in Alpine Securities Challenge

May 19th, 2026 at 12:04 PM
A federal court has rejected a broad constitutional challenge to the authority of the Financial Industry Regulatory Authority (FINRA), delivering a significant victory for the self-regulator and reinforcing its enforcement framework.
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FINRA Suspends Former Merrill Broker for Misrepresentations in Proof of Funds Letters

May 15th, 2026 at 1:35 PM
FINRA has disciplined a former Merrill Lynch representative after determining that he issued inaccurate and misleading statements about a client’s financial ability to complete a home purchase.
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FINRA Fines J.P. Morgan Securities $3.25 Million Over Supervisory Failures in High-Risk Strategy

May 13th, 2026 at 11:23 AM
The Financial Industry Regulatory Authority (FINRA) has sanctioned J.P.
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UBS Shifts SMA Oversight In-House, Discloses Potential Conflicts

May 12th, 2026 at 12:03 PM
UBS Wealth Management USA has begun restructuring how it manages separately managed accounts ("SMAs"), moving key oversight functions in-house and aligning its model more closely with competitors, according to reporting by AdvisorHub.
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Private Credit Funds Face Rising Redemptions and Valuation Scrutiny

May 11th, 2026 at 1:48 PM
Investor pressure on private credit funds continues to intensify as redemption requests increase and concerns emerge over how firms value underlying loan portfolios.
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SEC Reports Decline in Enforcement Actions as Leadership Refocuses on Investor Harm

May 11th, 2026 at 12:36 PM
The U.S.
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FINRA Bars Former Raymond James Broker for Refusing Testimony in Unauthorized Trading Probe

May 7th, 2026 at 12:34 PM
A former registered representative with Raymond James has been barred from the securities industry after refusing to cooperate with a Financial Industry Regulatory Authority (FINRA) investigation into alleged unauthorized trading activity.
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FINRA Outlines Key Rulemaking Priorities and Recent Developments in Quarterly Agenda

May 6th, 2026 at 12:18 PM
The Financial Industry Regulatory Authority (FINRA) recently released its Quarterly Regulatory Policy Agenda, offering a detailed view of its rulemaking priorities, pending proposals, and recently approved regulatory changes.
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Commonwealth Financial Network Resolves SEC Conflict of Interest Case

May 5th, 2026 at 1:03 PM
Commonwealth Financial Network has agreed to pay $5 million to resolve a long-standing conflict of interest case brought by the Securities and Exchange Commission, according to reporting by ThinkAdvisor.
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KKR Limits Redemptions in Private Credit Fund Amid Rising Investor Withdrawals

May 4th, 2026 at 11:33 AM
KKR & Co.
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LATEST NEWS AND ARTICLES

1779206639 Law
May 19, 2026
Federal Court Upholds FINRA's Authority in Alpine Securities Challenge

A federal court has rejected a broad constitutional challenge to the authority of the Financial Industry Regulatory Authority (FINRA), delivering a significant victory for the self-regulator and reinforcing its enforcement framework.

1778997041 1772158975 1744208044 521862 Chicago Skyline Reimagined
May 15, 2026
FINRA Suspends Former Merrill Broker for Misrepresentations in Proof of Funds Letters

FINRA has disciplined a former Merrill Lynch representative after determining that he issued inaccurate and misleading statements about a client’s financial ability to complete a home purchase.

1778685786 Law
May 13, 2026
FINRA Fines J.P. Morgan Securities $3.25 Million Over Supervisory Failures in High-Risk Strategy

The Financial Industry Regulatory Authority (FINRA) has sanctioned J.P.